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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-03-13 |
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| A.J. Amato Wealth Management | Albany | NY | 05/2015 | 12/2024 |
| Lpl Financial Llc | Albany | NY | 05/2015 | Present |
| Albany Financial Group | Albany | NY | 10/2021 | Present |
1) 9/17/15-AJ Amato Wealth Management, LLC/DBA for LPL Business /100%/East Greenbush, NY 2) 10/21/2021 - Albany Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/01/2021 - 160 Hours Per Month/130 Hours During Securities Trading. 3) 11/16/2023 - Shipp Financial Services - Non-Variable Insurance - Producer - Investment Related - At Reported Business Location(s) - Start Date 12/01/2023 - 1 Hour Per Month/ During Trading 4) 11/16/2023 - Arthur Sgroi and Associates - Non-Variable Insurance - Producer - Investment Related - At Reported Business Location(s) - Start Date 12/01/2023 - 1 Hour Per Month/ During Trading 5) 12/12/2023 - New York Long Term Care Brokers - Non-Variable Insurance - Financial Advisor - Investment Related - At Reported Business Location(s) - Start Date 12/01/2023 - 1 Hour Per Month/ During Trading 6) 06/10/2024 - Golden Bell Capital, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 02/28/2023 - 0 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-01-15 |
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